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March 4, 2022
Payment for order flow (PFOF) and best execution; market access; finfluencers and gamification; and anti-money laundering were some of the most critical emerging and familiar compliance...
March 3, 2022
Payment for order flow and best execution; market access; finfluencers and gamification; and anti-money laundering were some of the most critical emerging and familiar compliance challenges faced by member firms addressed by the Financial Industry Regulatory Authority in 2022
December 17, 2021
On December 1, 2021, the Federal Financial Institutions Examination Council (“FFIEC”) released updates to its Bank Secrecy Act/Anti-Money Laundering (BSA/AML) Examination Manual (the...
May 14, 2021
Advertisement FINRA Shares Practices Firms Use to Protect Customers from Online Account Takeover Attempts and Opens Dispute Resolution Services Friday, May 14, 2021 FINRA Shares Practices Firms Use to Protect Customers from Online Account Takeover Attempts On April 11, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 21-18 (Notice) in response to increasing reports from customers experiencing customer account takeover (ATO) incidents. These incidents invo...